Job Openings Ongoing Monitoring Officer

About the job Ongoing Monitoring Officer

Company & Culture

EXANTE is a pioneering wealth tech company that delivers cutting-edge centralized trading solutions and robust B2B financial infrastructure, driving value through innovative technology. Our proprietary trading platform offers seamless access to diverse financial instruments- including stocks, ETFs, bonds, futures, and options- all within a single, multi-currency account.

We cultivate a culture that transcends the ordinary, where rapid responses to market dynamics and proactive problem-solving are the norm. At EXANTE, the potential to make a meaningful impact is ever-present. Our team members continuously pursue personal and professional growth, empowered to spearhead change across people, processes, and products. True innovation stems from an insatiable desire for improvement, and everyone at EXANTE is committed to fostering this spirit and propelling the company into the future.

As a rapidly expanding global firm with over 600 talented employees from 65 nationalities across 70 locations, we are a frontrunner in the financial sector. Our investment priorities are clear: We prioritize investing in our most valuable asset - our people. Join us in shaping the future of finance.


About the Role

We are currently seeking an Ongoing Monitoring Officer to join our Compliance team. The Ongoing Monitoring Officer is responsible for ensuring that customer activity is continuously monitored in line with regulatory requirements and internal policies.


Reporting line: Ongoing Monitoring Team lead


Responsibilities:

  • Undertake quality review of clients’ KYC records

  • Act as a subject matter expert on legal documents and processes to review a client

  • Manage and facilitate proper client Due Diligence

  • Serve as a point of contact for KYC and reporting issues of designated clients

  • Act as a KYC and AML subject matter resource for company stakeholders

  • Act as a subject matter resource on the KYC/AML policies and procedures

  • Conduction of investigations and research on clients' transactions, and identification of potentially suspicious transactions using various internal and external systems/databases

  • Summarize the findings of the investigation

  • Advise stakeholders on next steps and provision of recommendations on the next course of action (relationship retention, termination, Suspicious Activity Report (SAR))

  • Manage the risk by analyzing the root cause of issues and their impact on the business

  • Discussion and escalation to MLRO/Compliance complex issues surrounding client types and structures, financial products and services, and other AML/Sanctions risk-related issues

  • Compile internal SAR and alert/case narratives summarizing the results of investigations to the MLRO.


Qualifications:

  • Strong knowledge of AML, counter-terrorist financing (CTF), and sanctions regulations, including OFAC, EU, and UN sanctions regimes

  • Minimum 3 years of experience in AML and sanctions compliance, preferably in the banking, brokerage and/ or fintech

  • Bachelor's or Master’s degree in Business, Finance, Law, or a related field (a master's or professional certification such as CAMS, CySec Certification, or ICA is an advantage)

  • Experience with AML transactions monitoring systems and sanctions screening tools

  • Analytical mindset with the ability to conduct complex investigations and assessments

  • Strong written and verbal communication skills

  • Fluent English (any additional language is considered as advantage)

  • Ability to work well under pressure and manage multiple priorities

  • Attention to details and ability to prioritize your tasks

  • Ability to exercise independence of judgement and autonomy.


Personality / Mindset

  • Integrity & loyalty

  • Team player with advanced communication and collaboration skills

  • A hands-on, can-do attitude - always looking for solutions and thinking out of the box

  • Overachiever mentality

  • Capability to work and succeed in the fast pace and ever-changing environment

  • Proactive, adaptable, and self-motivated


We Offer*

  • Competitive salary

  • Corporate benefits (choose your preferred options)

  • Truly inspiring culture, pleasant and informal work environment

  • Ongoing education & training programs

  • Opportunity to network and connect in the Corporate Events

  • Global career opportunities

*Benefits/perks can vary depending on the nature of your employment with the company and the country where you work


A group of disruptive technology experts created EXANTE. With an impressive track record in the industry and knowledge of the markets, our systems are built to democratize access to global financial instruments for professional traders and institutional investors.


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